Mary Ott RIM Specialist NE SOS-Records Management Division March 20, 2012

Records management is the efficient & systematic control of records through their creation, receipt, maintenance, use and disposition.

 is a digital method of delivery for communication  Retention is based on the ‘content’ of the message  Is not saving all messages forever  Is not setting arbitrary time limits for all messages  Is not ‘managing’ because of mailbox size  Is not declaring ‘ ’ a records series  Is not doing nothing

 Records must be classified, stored, and destroyed consistent with business, legal historical and financial standards  NE SOS approved Records Retention and Disposition Schedules provide the guidelines employees need to manage records  management is performed by individual users  Manual Management  Automation - Microsoft Office 365 users will use default retention policies and tags by applying the policies to folders and/or individual s

 List of records or series that determines how long/short a record is retained and provides the final disposition requirements  Schedules are developed based on the business, legal, financial and historical need for the record(s) by an agency or the state  Schedules are your only ongoing statutory authority to dispose of records

Series developed to provide retention guidance for communication not scheduled/covered in an Agency Specific Schedule. Please check your agency schedule(s) before using this series for the determination your retention.

 Communications, Nonrecord – Not related to state government transactions or activities  Communications, Short-Term (6 months) – Related to the business or operations of your office, but has no documentary or evidentiary value  Communication, Medium-Term (2 years) – Business/Operational requiring you to take a action or make a decision, but no long-term significance  Communication, Fiscal (5 years) – Documents purchases, financial obligations, fiscal revenue  Communications, Long –Term (8 Years) – Establish or implement policy, establish legal rights/responsibilities, document major transactions or has long-term significance for business/operations  Communications, Event-Driven (Date + Retention) – Open ended, event-driven retention which occurs at some future date

 Mandatory Folder Structure  Policy Development and Implementation  Employees required to folder all sent and received  Daily/Monthly Manage – Retention and Disposition  Including Calendar (2 Year Retention)  All Staff with Account Trained (30)  Training Based on Roles/Department  Hands-on Training and Super User Help  1-1 New Staff Training (9)

 Retention Policy – System default policies that allow users to apply the retention rules to their folders  Retention Tags – Used to apply the retention rules to individual messages  NE OCIO System – Six (6) default tags

 Event Driven Records  Audit Holds  Legal Holds  State Archives—For State Employees designated by the State Archives as having historical role/position in an agency only (See SA Guide)  s in a ‘Hold’ Folder or with a ‘Hold” Tag will need to be managed manually & follow the appropriate disposition once their retention requirements are done

Decision Tree

Content ↔ Retention Policy List/Serv ↔ NonRecord-No Retention Required Response (hours of operation) ↔ 14 Days Response (give recommendation/decision) ↔ 2 Years Contract Negotiations ↔ Event (5 Years after end of contract, use Never) Vacation/Sick Leave Request ↔ Approval-5 Years Original Request-14 Days Internal Procedure Clarification ↔ 2 Years Policy Development/Decision ↔ 8 Years Feedback on a Report ↔ 2 Years Electronic Subscription ↔ Professional Interest < 6 Months

Management Support Develop and Implement Plan Policy and Governance Training Audits, Follow-up and Support

 Contact Information – Mary Ott, RIM Specialist ◦ OR ◦ NE SOS Records Management Division  440 South 8 th Street, Suite #210, Lincoln, NE ◦ Website Addresses   management/retention_schedules.html  NE State Historical Society (State Archives) ◦ Gayla Koerting, State Archivist & Curator of Government Records ◦ OR

QUESTIONS